“Suitability” In The Sale of Fixed Insurance Products:
recommend a fixed annuity or insurance product if he or she knows that it will be purchased with dollars from a liquidated . security ? The answer to this question is not at all clear. To the author's knowledge, no state insurance regulators have taken the position that an agent’s. mere knowledge. of the source of funds requires either registered representative or RIA status. The cases cited ... ................
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